【作者】 宋春子；

【导师】 王厚双；

【作者基本信息】 辽宁大学 ， 国际贸易学， 2014， 博士

【摘要】 改革开放以来，我国通过大力发展加工贸易快速融入到全球价值链分工当中，特别是加入了世界贸易组织以后，我国抓住了国际产业转移的历史机遇，积极参与经济全球化进程，推动了外向型产业的快速发展，实现了对外贸易的高速增长。据国家统计局统计，2013年我国外贸进出口总额为41600亿美元，比上年增长7.6%；其中，出口额为22096亿美元，增长7.9%；进口额为19504亿美元，增长7.3%；贸易顺差达到2592亿美元，比上年增加289亿美元。在我国对外贸易快速增长的同时，“中国制造”的国际市场份额也在不断攀升，产业链升级步伐逐步加快，主要贸易伙伴为了削弱我国在全球价值链分工当中的影响力和升级步伐，对我国高频率的发起反倾销、反补贴、保障措施等贸易保护措施。日益增加的国际贸易摩擦已经成为我国发展对外关系和实施开放战略的重大障碍，制约着我国国际产业分工地位的提升和开放型经济的优化升级。因而，如何在全球价值链分工框架下加快国内产业的优化升级，并最终实现对全球价值链中高端环节的控制，从而改善我国国际分工的劣势地位并从源头上摆脱国际贸易摩擦困扰的研究具有重要的理论意义和现实意义。本论文共分为六章，主要研究如下问题：第一章是绪论，主要研究了论文的选题背景、论文的理论意义和实践意义、国内外的文献综述、研究主要内容与框架、研究方法、创新与不足之处。第二章是对全球价值链分工的理论分析，首先介绍了全球价值链分工代表性理论，主要有价值链理论、新价值链理论、虚拟价值链理论、价值网络理论、全球价值链理论，以及全球价值链的治理模式，主要是市场型治理模式、模块型治理模式、关系型治理模式、俘获型治理模式、层级制治理模式。其次介绍了博弈论，包括博弈论的演化、基本概念和类型。第三章介绍了全球价值链分工的演化及引发国际贸易摩擦的产生机制。首先阐述了全球价值链分工的内涵、演化以及全球价值链分工产生的动因：经济全球化是其产生的条件；国际产业转移是其发展的路径；国际直接投资是其扩展的依托；信息技术革命是其产生的动力；世界各国经济体制的趋同是其产生的制度基础；各国贸易和投资政策的自由化取向是其发展的制度保障；多边贸易体制的建立和健全是其运行的规则。其次介绍了全球价值链分工的特征：空间布局上有在全球加速延展的态势；领导者与被领导者的角色分明；比较优势仍是分工的基础；贸易结构有不断高级化的发展趋势；利益分配具有复杂性。再次研究了全球价值链分工发展与国际贸易摩擦的产生机制：全球价值链分工对国际分工产生了重大影响：改变了主导分工的主体、改变了国家间经济联系的形式、改变了国家间经济联系的性质、改变了利益分配机制、改变了国际竞争的焦点。最后分析了全球价值链分工的利益分配的矛盾与冲突：全球价值链分工下的利益增进，即发达国家是全球价值链分工的主导者，占据着分工所创造的绝大部分收益；发展中国家获取的利益：出口能力的提升、产业结构升级、诱发性和强制性制度变迁效应等；全球价值链分工的利益减损，即发达国家对全球价值链分工控制力下滑，国际收支失衡，产业空心化，失业率提高等；发展中国家面临着价值链低端“锁定效应”、“飞地效应”、“沙滩经济”、虚假繁荣下的“贫困化增长”和国家经济安全受到威胁等；全球价值链分工下的冲突，即各国在分工中地位的差异性、动态性和利益获取的非均衡性必然导致控制与反控制的较量，导致全球经济失衡；而各国在国际分工中的地位、利益分配结构的重构等必然引发贸易摩擦的蔓延与升级。第四章介绍了全球价值链分工对国际贸易摩擦的影响。首先分析了全球价值链分工对国际贸易摩擦的广度的影响：对国际贸易摩擦主体扩展的影响；对国际贸易摩擦对象扩张的影响；对国际贸易摩擦中心国家位移的影响。其次分析了全球价值链分工对国际贸易摩擦的深度的影响：对国际贸易摩擦手段升级的影响；对国际贸易摩擦对象错位的影响；对国际贸易摩擦手段重心变化的影响；使国际贸易摩擦快速发展为复合性摩擦；对国际贸易摩擦影响力扩大的影响。第五章研究全球价值链分工对中外贸易摩擦影响的实证分析。首先分析了中国在全球价值链分工中所处的地位、窘境及其危害：我国正处在由全球价值链分工的低端环节向研发设计和品牌服务高端环节逐渐升级的中间过渡阶段；我国正面临着发达国家的围堵和发展中国家，特别是新兴经济体的追赶与竞争而引发更激烈的贸易摩擦的多重压力。中国在全球价值链分工中所处的地位使中国经济陷入六种“高度依赖”的窘境，而这六种“高度依赖”严重威胁着中国的国家经济安全。其次阐述了全球价值链分工对中外贸易摩擦的影响。全球价值链分工对中外贸易摩擦的广度的影响：发达国家是中外贸易摩擦的主要发起者；中国与发展中国家之间的贸易摩擦快速上升；中外贸易摩擦的领域迅速扩展。全球价值链分工对中外贸易摩擦的深度的影响：中外贸易摩擦的手段不断升级；中外贸易摩擦的焦点向整个产业扩散；中国成为知识产权摩擦的最大受害者；中外贸易摩擦对中国经贸的影响越来越大。最后进行了全球价值链分工对中外贸易摩擦影响的实证分析：本文利用泊松回归模型对二者之间的关系进行计量分析，结果表明：中国在全球价值链分工中的地位与中国遭受到的贸易摩擦的广度、深度呈正相关。第六章根据上述各章的分析，提出了中国调整参与全球价值链分工并化解贸易摩擦的战略及策略。更多还原

【Abstract】 Our country rapidly integrated into the division of global value chains (GVC) bydeveloping processing trade, and seized the historic opportunity of internationalindustrial shift, actively participated in the process of economic globalization andpromoted the rapid development of the export-oriented industry, and realized the rapidgrowth of foreign trade especially after China joined WTO. According to the NationalBureau of Statistics, China’s total foreign trade value is41600billions of dollars, up7.6%over the previous year. Our country’export value is22096billions of dollars, up7.9%over the previous year; import value is19504billions of dollars, up7.3%over theprevious year; trade surplus is2592billions of dollars, up289billions of dollars over theprevious year. When the foreign trade increased rapidly, the international market share of‘made in China’ is also rising, the pace of industrial chain upgrade gradually is speedingup, and in order to weak the impact of our country in GVC and the pace of upgrade, ourcountry’s main trading partners initiated anti-dumping and anti-subsidy as well assafeguard measures etc. The increasing international trade frictions have become thegreat obstacles for the development of foreign relations and the implementation ofstrategy of development, which restricted the promotion of our country’s status ininternational division and the optimizing and upgrading of open economy. Therefore, theresearch of how to speed up the optimizing and upgrading of domestic industries in theframework of GVC and ultimately control the middle and high end link of GVC, so as toimprove China’s disadvantage in GVC and get rid of the international trade frictions fromthe source has important theoretical and practical significance.The thesis is divided into6chapters and the major issues of this thesis focus on thefollowing questions:Chapter1is an introduction about the research background, the theoretical andpractical significance, domestic and international literature review, the major researchcontent and framework, research methods, innovations and deficiency of the paper.Chapter2is the theoretical analysis of GVC. Firstly, this chapter introduces therepresentative theory of GVC, including the value chain theory, a new theory of valuechain, virtual value chain theory, value network theory, the theory of global value chain, and the governance of global value chain model such as the market-oriented governancemodel, module type management mode, mode of relational governance, capturemanagement mode, hierarchical governance mode. Secondly, this chapter introduces thegame theory, which including the evolution and the basic concepts as well as the types ofthe game theory.Chapter3introduces the evolution of GVC and the mechanism of internationaltrade frictions. Firstly, this chapter expounds the connotation, evolution, and themotivation of GVC, including the economic globalization is the produce condition,international industrial transfer is its development path; foreign direct investment is thebase of its extension; the information technology revolution is its power; theliberalization of trade and investment policy orientation is the system guarantee of itsdevelopment; the establishment and improvement of the multilateral trading system is itsoperating rules. Secondly, this chapter introduces the characteristics of GVC: the spacelayout of GVC is accelerating in the world; the roles of leaders and followers are clear;comparative advantage is still the basis of GVC; the trade structure is upgrading; profitdistribution is complex. Then this chapter studies the mechanism of the development ofGVC and international trade frictions: GVC have a significant impact on the internationaldivision: changing the leading body of GVC, changing the form of economic relationsamong countries, changing the nature of the economic relations among countries,changing the interest distribution mechanism, and changing the focus of internationalcompetition. Finally, this chapter analyses the contradictions and conflicts among theinterests of GVC allocation: the benefits increment of GVC, that is developed countriesare the leaders of GVC and occupy the vast majority of benefits; developing countriesobtain the following benefits: promotion of the export ability, upgrading of the industrialstructure, the induced and compulsory institutional change effect, etc.; the benefitsimpairment of GVC, that is the loss of developed countries’control for GVC, theimbalance of international payments, industrial hollowing, rising unemployment, etc.;developing countries are facing ‘lock-in effect’,‘enclave effect’,‘beach economic’ of thelow-end in the value chain, tragic growth of the borrowed prosperity and nationaleconomic security are threatened, etc. The conflicts of GVC, including the differencesand dynamism of national status in the division of labor and the imbalance of obtaining interests, which lead to global economic imbalances; while the status of countries in theinternational division and the reconstruction of the interest distribution structure willinevitably cause the spread and upgrading of the trade frictions.Chapter4introduces the impact of GVC on the international trade frictions. Firstly,this chapter analyses the breadth of the impact of GVC on the international trade frictions:the impact on the extension of the international trade frictions’main bodies; the impact onthe expansion of the international trade frictions’objects; the impact on the displacementof center countries of international trade frictions; Secondly, this chapter analyses thedepth of the impact of GVC on the international trade frictions: the impact on theupgrading of the international trade frictions’methods; the impact on the dislocation ofthe international trade frictions’objects; the impact on the changed focus of internationaltrade frictions’methods; GVC have made the international trade frictions rapidly becomecompound frictions; the expanding impact on the international trade frictions.Chapter5is the empirical analysis of the breadth and depth of the impact of GVCon the international trade frictions among China and foreign countries. Firstly, thischapter analyses the status and the dilemma as well as the harm of China in GVC: Chinais in the escalating transition state of GVC between low-end aspects of the value chainand the high-end aspects of the value chain of the R&D designs and brand service, ourcountry is facing the containment of developed countries and catching up and squeezingof developing countries especially emerging economies, which can initiate multiplepressures of more intense international trade frictions. China’s status in GVC madeChina’s economy be trapped in a dilemma of six ‘highly dependent’, while six ‘highlydependent’ seriously threaten China’s economic security. Secondly, this chapterelaborates the impact of GVC on the international trade frictions among China andforeign countries. The breadth of the impact of GVC on the international trade frictionsamong China and foreign countries: developed countries are the major initiators ofChinese and foreign trade frictions; trade frictions among China and developingcountries are rapidly rising; the fields of Chinese and foreign trade frictions are extendingrapidly. The depth of the impact of GVC on the international trade frictions among Chinaand foreign countries: the methods of the international trade frictions among China andforeign countries are escalating; the focus of the trade frictions has spread to the entire industry; China has already become the greatest victim of intellectual property rightsfrictions; the international trade frictions among China and foreign countries have agrowing influence on Chinese economy. Finally, this chapter makes an empiricalanalysis of the impact of GVC on trade conflicts among China and foreign countries: thisthesis analyses the impact of China’s status in GVC on trade conflicts among China andforeign countries by using the poisson regression model, and the results show that thestatus of China in GVC is positively correlated with the breadth and the intensity ofChina’s trade conflicts.Chapter6proposes the strategies of how to participate in GVC and defuse the tradefrictions for China.更多还原